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NEWS & INSIGHTS
Our News & Insights page gives you the latest updates from Leaman Crellin and key regulatory and compliance updates, including expert commentary, and insights, data and tips.
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We always welcome additional expert commentary so please get in touch if you’re interested in sharing your views or content around a particular topic.
FEATURED POSTS
Implications Of The New FCA Regulatory Initiatives Grid
The April edition of the FCA's Regulatory Initiatives Grid has been published. Neil Makwana has unpacked a summary of some of the potential impacts.
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Apr 222 min read
4 Key Areas of FCA Focus in 2025 for Retail Investment Firms
At Leaman Crellin we’ve reviewed the FCA's Annual Work Programme for 2025/26 and asked what does it mean for retail investment firms
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Apr 81 min read
4 Key Themes in FCAs 2025/26 Work Plan
Leaman Crellin has identified four key themes in the FCA's Annual Work Programme for 2025/26
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Apr 82 min read
5 New Initiatives from the FCA in 2025
Within its 2025/26 Annual Work Program FCA is introducing several completely new initiatives this year. We’ve picked five highlights to shar
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Apr 81 min read
5 Key Areas of FCA Focus in 2025 for Wealth Managers
Within the FCA's Annual Work Programme for 2025/26 Leaman Crellin has identified the following 5 key areas of focus for Wealth Managers.
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Apr 82 min read
ALL INSIGHTS
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Behind The Desk Guest with Nick Evans
Read our latest edition of “behind the desk” where we interview industry leaders with a blend of business insights and fun.
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Dec 19, 2024
Firms Urged to Reassess Three Lines of Defence Model
Navigating Regulatory Changes: Rethinking Senior Management Function Allocations and Strengthening the First Line of Defence Model
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Dec 5, 2024
Navigating 2025 – Regulation beyond tomorrow
As we approach 2025, regulated firms continue to face an evolving regulatory landscape that demands proactive planning and investment.
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Nov 27, 2024
SMCR Top Tips
Top tips from our CEO Katharine Leaman on SMCR, to protect you and your firm. Check out the article and get in touch with us for more info.
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Aug 12, 2024
Who Owns Outsourcing and Third Party Risk Management Regulatory Compliance?
This article looks at who owns outsourcing arrangements and to best manage them once established
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Jan 30, 2024
Are MRTs Truly Aware of Their Responsibilities?
Dive into the role of Material Risk Takers and understand their key differences to SMFs, responsibilities, and impact on firm risk.
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Aug 25, 2023
Consumer Duty Actions for SMFs
We provide some sample (non-exhaustive) actions SMFs can take to get them closer to compliance with the Consumer Duty.
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Aug 15, 2023
How do you know you got SMCR right?
Was your SMCR implementation a success? Here's our top five areas to check
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Jun 8, 2021
TFS-ICAP fines for printing trades & flying prices – 4 lessons for compliance & control functions
We look at the fines TFS - ICAP received in 2020 for ‘printing trades’ and ‘flying prices’. We ponder the lessons for control functions.
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Mar 3, 2021
Mirror, Signal, Manoeuvre: SMCR Top 6 before 31 March
Many firms will soon be subject to SMCR, this article gives you the top 6 areas you need to get right before 31 March.
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Feb 24, 2021
5 lessons for compliance from GS and 1MDB
This article considers the lessons learned for Compliance following Goldman Sachs settlements with regulators over 1MDB.
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Nov 4, 2020
Finding breaches is not all bad news
Rules breaches can have negative connotations after all non-compliance is never good. It can depend of course on what the breach is....
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Sep 8, 2020
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